| | If you have questions regarding the Meeting or require assistance with voting, you may contact Laurel Hill at 1-877-452-7184 (North American toll free) or 1-416-304-0211 (calls outside North America) or by email at assistance@laurelhill.com | | |
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| Proposal | | | Required Vote | |
| 1. Setting the Number of Directors at | | | Majority of the votes cast on the proposal | |
| 2. Election of Directors | | | Plurality of | |
| 3. Approval of Compensation of Named Executive Officers | | | Majority of the votes cast on the proposal | |
| 4. | ||||
Appointment and Remuneration of Auditors | | | Majority of the votes cast on the proposal | | |
Name and Address of Beneficial Owner | | Shares Beneficially Owned | | Percentage of Shares Beneficially Owned | | | Shares Beneficially Owned | | Percentage of Shares Beneficially Owned | | ||||||||||||||||
5% and Greater Shareholders: | | | | | | | | | | | | | | | | | | | | | | | ||||
BVF Partners L.P. | | | | 11,668,629(1) | | | | | 26.5% | | | |||||||||||||||
BB Biotech AG | | | | 4,765,814(1) | | | | | 10.8% | | | | | | 7,879,583(2) | | | | | 17.9% | | | ||||
BVF Partners L.P | | | | 3,705,289(2) | | | | | 8.4% | | | |||||||||||||||
Soleus Capital, LLC | | | | 3,474,658(3) | | | | | 7.9% | | | |||||||||||||||
RTW Investments, LP | | | | 3,028,719(4) | | | | | 6.9% | | | |||||||||||||||
PFM Health Sciences L.P. | | | | 3,844,332(3) | | | | | 8.7% | | | |||||||||||||||
Avidity Partners Management, LP | | | | 2,450,000(5) | | | | | 5.6% | | | | | | 3,750,000(4) | | | | | 8.5% | | | ||||
Eventide Asset Management, LLC | | | | 2,335,168(6) | | | | | 5.3% | | | |||||||||||||||
Clarus Lifesciences III, L.P | | | | 2,187,912(7) | | | | | 5.0% | | | |||||||||||||||
Soleus Capital Management | | | | 2,640,539(5) | | | | | 6.0% | | | |||||||||||||||
Directors and Named Executive Officers: | | | | | | | | | | | | | | | | | | | | | | | ||||
Franklin Berger | | | | 991,835(8) | | | | | 2.3% | | | | | | 725,697(6) | | | | | 1.6% | | | ||||
Alessandra Cesano | | | | 300,938(9) | | | | | * | | | | | | 436,477(7) | | | | | 1.0% | | | ||||
Richard Glickman | | | | 142,102(10) | | | | | * | | | | | | 149,950(8) | | | | | * | | | ||||
Philip Kantoff | | | | — | | | | | * | | | |||||||||||||||
Alex Martin | | | | 75,243(11) | | | | | * | | | | | | 80,729(9) | | | | | * | | | ||||
David Parkinson | | | | 1,219,098(12) | | | | | 2.8% | | | | | | 1,694,357(10) | | | | | 3.8% | | | ||||
Scott Requadt | | | | 136,802(13) | | | | | * | | | | | | 143,504(11) | | | | | * | | | ||||
Gary Sollis | | | | 76,798(14) | | | | | * | | | | | | 83,500(12) | | | | | * | | | ||||
Marella Thorell | | | | 63,825(15) | | | | | * | | | | | | 69,381(13) | | | | | * | | | ||||
Peter Virsik | | | | 941,944(16) | | | | | 2.1% | | | | | | 1,295,762(14) | | | | | 2.9% | | | ||||
David Wood | | | | 384,035(17) | | | | | * | | | | | | 532,718(15) | | | | | 1.2% | | | ||||
Sanford Zweifach | | | | 60,944(18) | | | | | * | | | | | | 66,500(16) | | | | | * | | | ||||
All named executive officers and directors as a group (11 persons) | | | | 4,358,560 | | | | | 9.9% | | | |||||||||||||||
All executive officers and directors as a group (12 persons) | | | | 5,278,575 | | | | | 12.0% | | |
Name of Director | | | Name of Reporting Issuer | | | Name of Exchange Listed On | |
Richard Glickman | | | Eupraxia Pharmaceuticals Inc. | | | TSX | |
David R. Parkinson | | | CTI BioPharma Corp. | | | Nasdaq | |
Sanford Zweifach | | | Compugen Ltd. | | | Nasdaq | |
Franklin M. Berger | | | Rain Therapeutics Inc. Atea Pharmaceuticals Inc. Kezar Life Sciences Inc. Atreca Inc. Bellus Health Inc. | | | Nasdaq Nasdaq Nasdaq Nasdaq Nasdaq, TSX | |
Scott Requadt | | | Talaris Therapeutics, Inc. | | | Nasdaq | |
Marella Thorell | | | Vallon Pharmaceuticals Inc. | | | Nasdaq | |
Philip Kantoff | | | Context Therapeutics Inc. | | | Nasdaq | |
Director | | | Attendance at Board Meetings | | | Attendance at Audit Committee Meetings | | | Attendance at Compensation Committee Meetings | | | Attendance at Corporate Governance and Nomination Committee Meetings | |
Richard M. Glickman | | | 5 of 5 | | | N/A | | | | | | ||
David R. Parkinson | | | 5 of 5 | | | N/A | | | N/A | | | N/A | |
Gary Sollis | | | 5 of 5 | | | 4 of 4 | | | N/A | | | | |
Franklin M. Berger | | | | | | | N/A | | | 2 of 3 | | ||
Scott Requadt | | | 4 of 5 | | | N/A | | | 1 of 1 | | |||
| N/A | | |||||||||||
Marella Thorell(1) | | | | | | | N/A | | | N/A | | ||
Alex Martin | | | | | N/A | | | N/A | | | N/A | | |
Sanford Zweifach | | | 5 of 5 | | | | | | | N/A | | ||
| | | | N/A | | | N/A | | | N/A | |
| Name, Country of Residence and Position | | | Principal Occupation or Business or Employment(1) | | | Period as a Director of the Company | | | Common Shares Beneficially Owned, Controlled or Directed(1) | |
| David R. Parkinson California, United States of America President, Chief Executive Officer and Director | | | President and Chief Executive Officer, ESSA Pharma Inc. (January 7, 2016 — Present) Director, ESSA Pharma Inc. (June 24, 2015 — Present) Director, CTI BioPharma Corp. (June 2017 — Present) Director, Tocagen Inc. (May 2015 — February 2020) Director, 3SBio Inc. (May 2015 — | | | Since June 2015 | | | | |
| Richard M. Glickman(3)(6) British Columbia, Canada Chairman of the Board | | | Chairman of the Board, ESSA Pharma Director, Eupraxia Pharmaceuticals Inc. Chairman of the Board, Aurinia Pharmaceuticals Inc. (February 2014 — April 2019) Chief Executive Officer, Aurinia Pharmaceuticals Inc. (February 2017 — April 2019) Director, Correvio Pharma Corp. (September 2013 — May 2019) Venture Partner, Lumira Ventures (March 2016 — Present) | | | Since October 2010 | | | | |
| Gary Sollis(5)(6) British Columbia, Canada Director | | | Director, ESSA Pharma Inc. (April 26, 2012 — Present) Partner, Dentons Canada LLP (May 1, 1995 — Present) | | | Since April 2012 | | | | |
| Franklin M. Berger New York, United States of America Director | | | Director, ESSA Pharma Inc. (March 2015 — Present) Director, Atreca, Inc. (2021 — Present) Director, Atea Pharmaceuticals, Inc. (November 2014 — Present) Director, Rain Therapeutics Inc. (May 2020 — Present) Director, Kezar Life Sciences Inc. (November 2016 — Present) Director, Bellus Health, Inc. (May 2010 — Present) Director, Proteostasis Therapeutics, Inc. (February 2016 — December 2020) Director, Tocagen Inc. | | | Since March 2015 | | | |
| Name, Country of Residence and Position | | | Principal Occupation or Business or Employment(1) | | | Period as a Director of the Company | | | Common Shares Beneficially Owned, Controlled or Directed(1) | |
| | | | (December 2015 — 2020) Director, Immune Design Corp. (March 2014 — June 2019) Director, Five Prime Therapeutics, Inc. (October 2010 — March 2021) | | | | | | | |
| Scott Requadt(3) Massachusetts, United States of America Director | | | Director , ESSA Pharma Inc. (January 14, 2016 — Present) Chief Executive Officer, Talaris Therapeutics, Inc. (November 2018 — Present) Venture Partner, Blackstone Life Sciences (November 2018 — December 2020) Managing Director, Clarus Ventures, LLC (acquired by Blackstone Life Sciences) (September 2005 — November 2018) | | | Since January 2016 | | | 166,004(9) | |
| Marella Thorell(5) Pennsylvania, United States of America Director | | | Director, ESSA Pharma Inc. (July 31, 2019 — Present) Chief Financial Officer, Evelo Biosciences, Inc (September 2022 — Present) Chief Accounting Officer; Head of Finance, Centessa Pharmaceuticals (April 2021 — July 2022; January 2021 — April 2021) Chairperson of the Board, Vallon Pharmaceuticals (May 2022 — Present) Director, Vallon Pharmaceuticals (February 2021 — Present) Chief Financial Officer, Palladio Biosciences (October 11, 2019 — April 2021) Chief Financial Officer and Chief Operating Officer, Realm Therapeutics plc (December 2016 — July 2019) Chief Financial Officer, PuriCore (March 2013 — December 2016) | | | Since July 2019 | | | 91,881(10) | |
| Alex Martin New Jersey, United States of America Director | | | Director, ESSA Pharma Inc. (July 31, 2019 — Present) Chief Executive Officer, Palladio Biosciences (August 8, 2019 — Present) Chief Executive Officer, Realm Therapeutics plc (June 2015 — August 2019) | | | Since July 2019 | | | 103,229(11) | |
| Sanford Zweifach(3)(5) California, United States of America Director | | | Director, ESSA Pharma Inc. (July 31, 2019 — Present) Executive Chairman, Janpix Inc. (December 12, 2019 — Present) Director, Compugen Ltd. (2018 — Present) Chairman of the Board, Palladio Biosciences (April 3, 2019 — February 2021) Co-Founder and Senior Advisor, Nuvelution Pharma Inc. (June 2015 — Present) Chairman of the Board, Acting President and Chief Business Officer, IMIDomics SL (December 12, 2019 — Present) Chief Executive Officer, Nuvelution Pharma Inc. (November 2015 — November 2019) | | | Since July 2019 | | | 89,000(12) | |
| Name, Country of Residence and Position | | | Principal Occupation or Business or Employment(1) | | | Period as a Director of the Company | | | Common Shares Beneficially Owned, Controlled or Directed(1) | |
| |||||||||||
Director | | | Co-Founder and Chief Executive Officer, Director, Context Therapeutics (December 2019 — | | | Since | | | |||
|
| | 2021 ($)(5) | | 2020 ($)(6) | | | 2022 ($)(5) | | 2021 ($)(6) | | ||||||||||||||||
Audit Fees(1) | | | | 72,909 | | | | | 35,476 | | | | | $ | 37,204 | | | | $ | 72,909 | | | ||||
Audit Related Fees(2) | | | | 19,009 | | | | | 15,278 | | | | | $ | 16,818 | | | | $ | 19,009 | | | ||||
Tax Fees(3) | | | | — | | | | | — | | | | | | — | | | | | — | | | ||||
All Other Fees(4) | | | | 37,308 | | | | | 20,275 | | | | | | — | | | | $ | 37,308 | | | ||||
Total Fees Paid | | | | 129,226 | | | | | 71,479 | | | | | $ | 54,022 | | | | $ | 129,226 | | |
| | | 2021 | | | 2020 | | | 2019 | | | 2018 | | | Average | |
Total Common Shares Granted During Fiscal Year (A) | | | 1,889,646 | | | 4,218,000 | | | 255,000 | | | 803,400 | | | 1,791,512 | |
Basic Weighted Average Common Shares Outstanding (B) | | | 38,480,378 | | | 22,443,893 | | | 8,433,441 | | | 4,566,519 | | | 18,481,058 | |
Burn Rate (A/B) | | | 4.91% | | | 18.79% | | | 3.02% | | | 17.59% | | | 11.08% | |
NEO | | | BONUS PAYABLE | |
Dr. David R. Parkinson (CEO) | | | Up to 50% | |
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Peter Virsik (EVP & COO) | | | Up to 40% of Base Salary | |
Alessandra Cesano (CMO) | | | Up to 40% of Base Salary | |
David Wood (CFO) | | | Up to 40% of Base Salary | |
Name and Principal Position | | Year | | Salary ($) | | Bonus(1) ($) | | Option Awards(2) ($) | | All Other Compensation(3) ($) | | Total ($) | | | Year | | Salary ($) | | Bonus(1) ($) | | Option Award(2) ($) | | All Other(3) ($) | | Total ($) | | ||||||||||||||||||||||||||||||||||||||||||||||||
David R. Parkinson | | | | 2021 | | | | | 518,266 | | | | | 311,290 | | | | | 2,304,019 | | | | | — | | | | | 3,133,575 | | | | | | 2022 | | | | | 548,625 | | | | | 249,375 | | | | | 124,003 | | | | | — | | | | | 922,003 | | | ||||||||||||
Chief Executive Officer and, | | | | 2020 | | | | | 492,134 | | | | | 296,468 | | | | | 1,988,933 | | | | | — | | | | | 2,777,535 | | | |||||||||||||||||||||||||||||||||||||||||||
President | | | | 2019 | | | | | 468,699 | | | | | 158,115 | | | | | 368,720 | | | | | — | | | | | 995,534 | | | |||||||||||||||||||||||||||||||||||||||||||
Chief Executive Officer and President | | | | 2021 | | | | | 518,266 | | | | | 311,290 | | | | | 1,445,565 | | | | | — | | | | | 2,275,121 | | | |||||||||||||||||||||||||||||||||||||||||||
Peter Virsik | | | | 2022 | | | | | 450,306 | | | | | 165,902 | | | | | 50,231 | | | | | 9,150 | | | | | 675,589 | | | |||||||||||||||||||||||||||||||||||||||||||
Executive Vice President and Chief Operating Officer | | | | 2021 | | | | | 427,850 | | | | | 210,203 | | | | | 1,083,404 | | | | | 8,700 | | | | | 1,730,157 | | | |||||||||||||||||||||||||||||||||||||||||||
Alessandra Cesano | | | | 2022 | | | | | 437,019 | | | | | 161,007 | | | | | 50,231 | | | | | — | | | | | 648,257 | | | |||||||||||||||||||||||||||||||||||||||||||
Chief Medical Officer | | | | 2021 | | | | | 415,808 | | | | | 205,000 | | | | | 311,807 | | | | | — | | | | | 932,615 | | | |||||||||||||||||||||||||||||||||||||||||||
David Wood | | | | 2021 | | | | | 380,844 | | | | | 136,125 | | | | | 785,332 | | | | | 15,379 | | | | | 1,317,680 | | | | | | 2022 | | | | | 406,650 | | | | | 149,908 | | | | | 50,231 | | | | | 16,759 | | | | | 623,548 | | | ||||||||||||
Chief Financial Officer | | | | 2020 | | | | | 313,897 | | | | | 65,505 | | | | | 557,988 | | | | | 11,442 | | | | | 948,832 | | | | | | 2021 | | | | | 380,844 | | | | | 136,125 | | | | | 541,956 | | | | | 15,379 | | | | | 1,074,304 | | | ||||||||||||
| | | | 2019 | | | | | 243,872 | | | | | 67,649 | | | | | 95,145 | | | | | 9,369 | | | | | 416,035 | | | |||||||||||||||||||||||||||||||||||||||||||
Peter Virsik | | | | 2021 | | | | | 427,850 | | | | | 210,203 | | | | | 1,768,424 | | | | | 8,700 | | | | | 2,415,177 | | | |||||||||||||||||||||||||||||||||||||||||||
Executive Vice President and Chief | | | | 2020 | | | | | 415,400 | | | | | 200,194 | | | | | 1,608,155 | | | | | 8,550 | | | | | 2,232,299 | | | |||||||||||||||||||||||||||||||||||||||||||
Operating Officer | | | | 2019 | | | | | 394,276 | | | | | 150,380 | | | | | 247,631 | | | | | 11,220 | | | | | 803,507 | | | |||||||||||||||||||||||||||||||||||||||||||
Alessandra Cesano | | | | 2021 | | | | | 415,808 | | | | | 205,000 | | | | | 581,508 | | | | | — | | | | | 1,202,316 | | | |||||||||||||||||||||||||||||||||||||||||||
Chief Medical Officer | | | | 2020 | | | | | 407,500 | | | | | 100,000 | | | | | 622,704 | | | | | — | | | | | 1,130,204 | | | |||||||||||||||||||||||||||||||||||||||||||
| | | | 2019 | | | | | 100,000 | | | | | — | | | | | 12,466 | | | | | — | | | | | 112,466 | | |
Name | | | Grant Date | | | All Other Option Awards: Number of Securities Underlying Options (#) | | | Closing Price on Date of Grant ($/Sh) | | | Grant Date Fair Value of Stock and Option Awards(1) | | ||||||||||||
David R. Parkinson | | | | | 12/10/2020 | | | | | | 533,896 | | | | | $ | 7.00 | | | | | $ | 2,944,539 | | |
Chief Executive Officer and President | | | | | | ||||||||||||||||||||
David Wood | | | | | 12/10/2020 | | | | | | 200,000 | | | | | $ | 7.00 | | | | | $ | 1,103,038 | | |
Chief Financial Officer | | | | | | ||||||||||||||||||||
Peter Virsik | | | | | 12/10/2020 | | | | | | 400,000 | | | | | $ | 7.00 | | | | | $ | 2,206,077 | | |
Executive Vice President and Chief Operating Officer | | | | | | ||||||||||||||||||||
Alessandra Cesano | | | | | 12/10/2020 | | | | | | 115,000 | | | | | $ | 7.00 | | | | | $ | 634,247 | | |
Chief Medical Officer | | | | | |
Name | | | Option Awards | | | | Option Awards | | ||||||||||||||||||||||||||||||||||||||||||||||||||||||
| Number of Securities Underlying Unexercised Options (#) Exercisable | | Number of Securities Underlying Unexercised Options (#) Unexercisable(1) | | Equity Incentive Plan Awards: Number of Securities Underlying Unexercised Unearned Option (#) | | Option Exercise Price ($) | | Option Expiration Date | | | Number of Securities Underlying Unexercised Options (#) Exercisable | | Number of Securities Underlying Unexercised Options (#) Unexercisable(1) | | Equity Incentive Plan Awards: Number of Securities Underlying Unexercised Unearned Option (#) | | Option Exercise Price ($) | | Option Expiration Date | | |||||||||||||||||||||||||||||||||||||||||
David R. Parkinson | | | | 2,239 | | | | | 261 | | | | | — | | | | | 4.00 | | | | | 2025/06/23 | | | | | | 2,500 | | | | | — | | | | | — | | | | | 4.00 | | | | | 2025/06/23 | | | ||||||||||
Chief Executive Officer and | | | | 26,875 | | | | | 3,125 | | | | | — | | | | | 4.00 | | | | | 2026/01/12 | | | | | | 30,000 | | | | | — | | | | | — | | | | | 4.00 | | | | | 2026/01/12 | | | ||||||||||
President | | | | 210,520 | | | | | 24,480 | | | | | — | | | | | 4.00 | | | | | 2028/02/21 | | | | | | 235,000 | | | | | — | | | | | — | | | | | 4.00 | | | | | 2028/02/21 | | | ||||||||||
| | | | 29,062 | | | | | 15,938 | | | | | — | | | | | 3.81 | | | | | 2029/02/08 | | | | | | 40,312 | | | | | 4,688 | | | | | — | | | | | 3.81 | | | | | 2029/02/08 | | | ||||||||||
| | | | 492,837 | | | | | 535,693 | | | | | — | | | | | 3.23 | | | | | 2029/10/04 | | | | | | 749,969 | | | | | 278,561 | | | | | — | | | | | 3.23 | | | | | 2029/10/04 | | | ||||||||||
| | | | 82,162 | | | | | 89,308 | | | | | — | | | | | 3.23 | | | | | 2029/10/07 | | | | | | 125,030 | | | | | 46,440 | | | | | — | | | | | 3.23 | | | | | 2029/10/07 | | | ||||||||||
| | | | 100,104 | | | | | 433,792 | | | | | — | | | | | 7.00 | | | | | 2030/12/11 | | | | | | 233,579 | | | | | 300,317 | | | | | — | | | | | 7.00 | | | | | 2030/12/11 | | | ||||||||||
David Wood | | | | 59,348 | | | | | 6,902 | | | | | — | | | | | 4.00 | | | | | 2025/06/23 | | | ||||||||||||||||||||||||||||||||||||
Chief Financial Officer | | | | 3,359 | | | | | 391 | | | | | — | | | | | 4.00 | | | | | 2026/01/12 | | | ||||||||||||||||||||||||||||||||||||
| | | | 8,958 | | | | | 1,042 | | | | | — | | | | | 4.00 | | | | | 2028/02/21 | | | ||||||||||||||||||||||||||||||||||||
| | | | 16,145 | | | | | 8,855 | | | | | — | | | | | 3.81 | | | | | 2029/02/08 | | | ||||||||||||||||||||||||||||||||||||
| | | | 158,125 | | | | | 171,875 | | | | | — | | | | | 3.23 | | | | | 2029/10/07 | | | ||||||||||||||||||||||||||||||||||||
| | | | 37,500 | | | | | 162,500 | | | | | — | | | | | 7.00 | | | | | 2030/12/11 | | | | | | — | | | | | 222,500 | | | | | — | | | | | 3.60 | | | | | 2032/06/29 | | | ||||||||||
Peter Virsik | | | | 12,989 | | | | | 1,511 | | | | | — | | | | | 4.00 | | | | | 2026/08/09 | | | | | | 14,500 | | | | | — | | | | | — | | | | | 4.00 | | | | | 2026/08/09 | | | ||||||||||
Executive Vice President and | | | | 154,979 | | | | | 18,021 | | | | | — | | | | | 4.00 | | | | | 2028/02/21 | | | | | | 173,000 | | | | | — | | | | | — | | | | | 4.00 | | | | | 2028/02/21 | | | ||||||||||
Chief Operating Officer | | | | 25,833 | | | | | 14,167 | | | | | — | | | | | 3.81 | | | | | 2029/02/08 | | | ||||||||||||||||||||||||||||||||||||
| | | | 464,791 | | | | | 505,209 | | | | | — | | | | | 3.23 | | | | | 2029/10/07 | | | ||||||||||||||||||||||||||||||||||||
| | | | 75,000 | | | | | 325,000 | | | | | — | | | | | 7.00 | | | | | 2030/12/11 | | | ||||||||||||||||||||||||||||||||||||
Alessandra Cesano | | | | 16,145 | | | | | 8,855 | | | | | — | | | | | 3.81 | | | | | 2029/02/08 | | | ||||||||||||||||||||||||||||||||||||
Chief Medical Officer | | | | 191,666 | | | ��� | | | 208,334 | | | | | — | | | | | 3.23 | | | | | 2029/10/07 | | | |||||||||||||||||||||||||||||||||||
| | | | 21,562 | | | | | 93,438 | | | | | — | | | | | 7.00 | | | | | 2030/12/11 | | |
Name | | | Option Awards | | |||||||||||||||||||||||||||
| Number of Securities Underlying Unexercised Options (#) Exercisable | | | Number of Securities Underlying Unexercised Options (#) Unexercisable(1) | | | Equity Incentive Plan Awards: Number of Securities Underlying Unexercised Unearned Option (#) | | | Option Exercise Price ($) | | | Option Expiration Date | | |||||||||||||||||
Chief Operating Officer | | | | | 35,833 | | | | | | 4,167 | | | | | | — | | | | | | 3.81 | | | | | | 2029/02/08 | | |
| | | | | 707,291 | | | | | | 269,709 | | | | | | — | | | | | | 3.23 | | | | | | 2029/10/07 | | |
| | | | | 175,000 | | | | | | 225,000 | | | | | | — | | | | | | 7.00 | | | | | | 2030/12/11 | | |
| | | | | — | | | | | | 90,000 | | | | | | — | | | | | | 3.60 | | | | | | 2032/06/29 | | |
Alessandra Cesano | | | | | 22,395 | | | | | | 2,605 | | | | | | — | | | | | | 3.81 | | | | | | 2029/02/08 | | |
Chief Medical Officer | | | | | 291,666 | | | | | | 108,334 | | | | | | — | | | | | | 3.23 | | | | | | 2029/10/07 | | |
| | | | | 50,312 | | | | | | 64,688 | | | | | | — | | | | | | 7.00 | | | | | | 2030/12/11 | | |
| | | | | — | | | | | | 90,000 | | | | | | — | | | | | | 3.60 | | | | | | 2032/06/29 | | |
David Wood | | | | | 66,250 | | | | | | — | | | | | | — | | | | | | 4.00 | | | | | | 2025/06/23 | | |
Chief Financial Officer | | | | | 3,750 | | | | | | — | | | | | | — | | | | | | 4.00 | | | | | | 2026/01/12 | | |
| | | | | 10,000 | | | | | | — | | | | | | — | | | | | | 4.00 | | | | | | 2028/02/21 | | |
| | | | | 22,395 | | | | | | 2,605 | | | | | | — | | | | | | 3.81 | | | | | | 2029/02/08 | | |
| | | | | 240,625 | | | | | | 89,375 | | | | | | — | | | | | | 3.23 | | | | | | 2029/10/07 | | |
| | | | | 87,500 | | | | | | 112,500 | | | | | | — | | | | | | 7.00 | | | | | | 2030/12/11 | | |
| | | | | — | | | | | | 90,000 | | | | | | — | | | | | | 3.60 | | | | | | 2032/06/29 | | |
Name and Principal Position | | | Event | | | Severance ($) | | | Options ($)(1) | | | Other Payments ($) | | | Total ($) | |
David R. Parkinson | | | Termination other than for cause | | | 525,000 | | | 7,516,446 | | | — | | | 8,041,446 | |
Chief Executive Officer and President | | | Termination following a change of control event (double trigger) | | | 787,500 | | | 7,516,446 | | | — | | | 8,303,946 | |
David Wood | | | Termination other than for cause | | | 390,000 | | | 2,198,850 | | | — | | | 2,588,850 | |
Chief Financial Officer | | | Termination following a change of control event (double trigger) | | | 585,000 | | | 2,198,850 | | | — | | | 2,783,850 | |
Peter Virsik | | | Termination other than for cause | | | 430,915 | | | 5,944,500 | | | — | | | 6,375,415 | |
Executive Vice President and Chief Operating Officer | | | Termination following a change of control event (double trigger) | | | 646,373 | | | 5,944,500 | | | — | | | 6,590,873 | |
Alessandra Cesano | | | Termination other than for cause | | | 418,200 | | | 2,127,750 | | | — | | | 2,545,950 | |
Chief Medical Officer | | | Termination following a change of control event (double trigger) | | | 627,300 | | | 2,127,750 | | | — | | | 2,755,050 | |
| | | Amount ($) | | |||
Board of Directors: | | | | | | | |
Member | | | | $ | 35,000 | | |
Chair | | | | $ | 60,000 | | |
Audit Committee: | | | | | | | |
Member | | | | $ | 7,000 | | |
Chair | | | | $ | 15,000 | | |
Compensation Committee: | | | | | | | |
Member | | | | $ | 6,000 | | |
Chair | | | | $ | 12,000 | | |
Corporate Governance & Nomination Committee: | | | | | | | |
Member | | | | $ | 4,000 | | |
Chair | | | | $ | 8,000 | | |
Name(1) (a) | | | Fees Earned or Paid in Cash ($) (b) | | | Stock Awards ($) (c) | | | Option Awards(2) ($) (d) | | | All Other Compensation ($) (g) | | | Total ($) (h) | | |||||||||||||||
Richard Glickman | | | | | 70,000 | | | | | | — | | | | | | 145,432 | | | | | | — | | | | | | 215,432 | | |
Chairman, Director | | | | | | | |||||||||||||||||||||||||
Gary Sollis | | | | | 50,000 | | | | | | — | | | | | | 104,459 | | | | | | — | | | | | | 154,459 | | |
Director Corporate Governance and Nomination Committee Chair | | | | | | | |||||||||||||||||||||||||
Franklin Berger | | | | | 54,000 | | | | | | — | | | | | | 103,798 | | | | | | — | | | | | | 157,798 | | |
Director Audit Committee Chair | | | | | | | |||||||||||||||||||||||||
Scott Requadt | | | | | 47,000 | | | | | | — | | | | | | 103,155 | | | | | | — | | | | | | 150,155 | | |
Director Compensation Committee Chair | | | | | | | |||||||||||||||||||||||||
Alex Martin | | | | | 35,000 | | | | | | — | | | | | | 98,647 | | | | | | — | | | | | | 133,647 | | |
Director | | | | | | | |||||||||||||||||||||||||
Marella Thorell | | | | | 35,000 | | | | | | — | | | | | | 98,647 | | | | | | — | | | | | | 133,647 | | |
Director | | | | | | | |||||||||||||||||||||||||
Sanford Zweifach | | | | | 48,000 | | | | | | — | | | | | | 98,647 | | | | | | — | | | | | | 146,647 | | |
Director | | | | | | | |||||||||||||||||||||||||
Ari Brettman | | | | | 16,805 | | | | | | — | | | | | | (15,514) | | | | | | — | | | | | | 1,291 | | |
Director | | | | | | |
Name(1) | | | Fees Earned or Paid in Cash ($) | | | Option Awards ($) | | | All Other Compensation ($) | | | Total ($) | | ||||||||||||
Richard Glickman | | | | $ | 70,000 | | | | | $ | 33,109 | | | | | | — | | | | | $ | 103,109 | | |
Chairman | | | | | | ||||||||||||||||||||
Gary Sollis | | | | $ | 50,000 | | | | | $ | 21,282 | | | | | | — | | | | | $ | 71,282 | | |
Corporate Governance and Nomination Committee Chair | | | | | | ||||||||||||||||||||
Franklin Berger | | | | $ | 54,000 | | | | | $ | 21,282 | | | | | | — | | | | | $ | 75,282 | | |
Audit Committee Chair | | | | | | ||||||||||||||||||||
Scott Requadt | | | | $ | 47,000 | | | | | $ | 21,282 | | | | | | — | | | | | $ | 68,282 | | |
Compensation Committee Chair | | | | | | ||||||||||||||||||||
Alex Martin | | | | $ | 35,000 | | | | | $ | 21,282 | | | | | | — | | | | | $ | 56,282 | | |
Philip Kantoff | | | | $ | 2,917 | | | | | $ | 11,303 | | | | | | — | | | | | $ | 14,220 | | |
Marella Thorell | | | | $ | 36,167 | | | | | $ | 21,282 | | | | | | — | | | | | $ | 57,449 | | |
Sanford Zweifach | | | | $ | 48,000 | | | | | $ | 21,282 | | | | | | — | | | | | $ | 69,282 | | |
Plan Category | | Number of securities to be issued upon exercise of outstanding options, warrants and rights (as at September 30, 2021) | | Weighted-average exercise price of outstanding options, warrants and rights(2) (as at September 30, 2021) | | Number of securities remaining available for future issuance under equity compensation plans (excluding securities reflected in column (a)) (as at September 30, 2021) | | | Number of securities to be issued upon exercise of outstanding options, warrants and rights (as at September 30, 2022) | | Weighted-average exercise price of outstanding options, warrants and rights(2) (as at September 30, 2022) | | Number of securities remaining available for future issuance under equity compensation plans (excluding securities reflected in column (a)) (as at September 30, 2022) | | ||||||||||||||||||||||||
Equity compensation plans approved by securityholders (1) | | | | 6,803,230 | | | | $ | 5.20 | | | | | 467,950 | | | | | | 7,902,061 | | | | $ | 5.13 | | | | | 758,820 | | | ||||||
Equity compensation plans not approved by securityholders | | | | — | | | | | — | | | | | — | | | | | | — | | | | | — | | | | | — | | | ||||||
Total | | | | 6,803,230 | | | | $ | 5.20 | | | | | 467,950 | | | | | | 7,902,061 | | | | $ | 5.13 | | | | | 758,820 | | |